Lawrence Goldstein, formerly with McNally Financial Services, Barred by FINRA Have you lost money with financial advisor Lawrence Goldstein?  We are looking into allegations made about Lawrence B. Goldstein from Sparks, Nevada.  FINRA (the Financial Industry Regulatory Authority) barred Larry Goldstein from the securities industry.  FINRA alleged that Larry Goldstein failed to respond to its …
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Joshua Stephens Anselm, formerly with J.P. Morgan, Charged with Fraud by SEC Have you lost money with financial advisor Joshua Stephens Anselm of J.P. Morgan in Valley Stream, New York?  We are continuing to look into allegations made by the Securities and Exchange Commission (SEC) against Stephens-Anselm.  The SEC alleged that he stole over $660,000 …
Read More "JOSHUA STEPHENS ANSELM of J.P. Morgan Charged With FRAUD -Valley Stream, NY"

Louis Olave, previously with Questar Capital Corp. Ordered to Pay $23,999 to Customer Have you lost money with financial advisor Louis Olave?  We are looking into allegations made about Louis M. Olave from Burlington, Vermont.  A FINRA (the Financial Industry Regulatory Authority) arbitrator ordered Olave to pay $23,999 to a customer.  The customer made allegations …
Read More "Losses With LOUIS OLAVE and Future Income Payments- Burlington, VT"

Coastal Equities Ordered to Pay $279,000 Regarding Sam Aziz Have you lost money with financial advisor Sam Aziz of Dublin, Ohio?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Sam Aziz. In 2019, FINRA barred Aziz from the securities industry after he failed to respond to a …
Read More "SAM AZIZ Barred/Coastal Equities Ordered to Pay $279,000 – Dublin, OH"

Richard Wesselt, formerly with Sterne Agee Financial Services and O.N. Equity Sales Company, Barred From Securities Industry Have you lost money with financial advisor Richard M. Wesselt, formerly with Sterne Agee Financial Services, from Collegeville, Pennsylvania?  We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against Wesselt. Wesselt was …
Read More "UPDATE: RICHARD WESSELT of Sterne Agee BARRED – Collegeville, PA"

Ivan Shore, with Oppenheimer & Co., Suspended Three Months from Securities Industry Have you lost money with financial advisor Ivan Shore of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ivan Shore. FINRA suspended Shore from the securities industry for three months and fined him $5,000 …
Read More "Warning: IVAN SHORE of Oppenheimer SUSPENDED – New York, NY"

Andrea Wood, previously with Integrity Brokerage Services, Suspended by FINRA Have you lost money with financial advisors Andrea Wood and Marc Jaffe?  We are looking into allegations made about Andrea Wood from Indianapolis, Indiana.  FINRA (the Financial Industry Regulatory Authority) suspended Wood from the securities industry for twelve months and fined her $5,000.  FINRA was …
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Narongdej Jaroensabphayanont, formerly with Voya Financial Advisors, Suspended by FINRA Have you lost money with financial advisor Narongdej Jaroensabphayanont of Voya Financial?  We are looking into allegations made about Narongdej or “Jay” Jaroensabphayanont from Bellevue, Washington.  FINRA (the Financial Industry Regulatory Authority) suspended Narongdej Jaroensabphayanont from the securities industry.  FINRA alleged that Narongdej Jaroensabphayanont failed …
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Gurpreet Chandhoke and Stephen Shea, previously with Arete Wealth Management, Each Suspended Two Years by FINRA Have you lost money with financial advisors Gurpreet Chandhoke and Stephen Shea?  We are continuing to look into allegations made against Gurpreet Singh Chandhoke and Stephen F. Shea from Orinda, California.  In 2019, FINRA (the Financial Industry Regulatory Authority) …
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Lawrence Fawcett, formerly with Westpark Capital, Ordered to Pay Arbitration Award Have you lost money with financial advisor Lawrence Fawcett of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lawrence (or Larry) J. Fawcett, Jr. FINRA barred Fawcett from the securities industry after he failed to …
Read More "LAWRENCE FAWCETT Ordered to Pay Customer for Unsuitable Trades"